| 16-02819 | 01/26/2017 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): J. Burke McCormick
Respondent(s): Patrick Moriarty
Respondent Lawyers(s): Patrick Joseph Moriarty
Arbitrator(s): Tina E. Patterson
Hearing Site: Baltimore, MD
| | |
| 15-00164 | 05/11/2016 | Claimant(s): Oscar Artola
Claimant Lawyers(s): Oscar A. Artola
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): J. Michael Nolan
Arbitrator(s): James M. Rhodes, Steven Irving Platt, James Drew Butler
Hearing Site: Baltimore, MD
| | |
| 15-00876 | 04/21/2016 | Claimant(s): Lewis Roberts
Claimant Lawyers(s): Donald J. McCartney
Respondent(s): PNC Investments
Respondent Lawyers(s): Gary J. Lieberman
Arbitrator(s): Daniel J. Donovan, Emily Eiselman Hunter, James Drew Butler
Hearing Site: Baltimore, MD
| | |
| 15-02760 | 03/17/2016 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Richard Ewalt
Respondent Lawyers(s): Richard Lee Ewalt
Arbitrator(s): James A. Hayes
Hearing Site: Baltimore, MD
| | |
| 15-02650 | 01/25/2016 | Claimant(s): Merrill Lynch Pierce Fenner & Smith Inc.
Claimant Lawyers(s): Karen P. Gaster
Respondent(s): Brendan O'Connell
Respondent Lawyers(s): Brendan O'Connell
Arbitrator(s): Christopher M. McMurray
Hearing Site: Baltimore, MD
| | |
| 14-02348 | 12/04/2015 | Claimant(s): Joseph Cullen
Claimant Lawyers(s): Joseph Orval Cullen
Respondent(s): Bradford Hewitt, Knut Olson, Stephen Molen
Respondent Lawyers(s): Lindsay Wuller
Arbitrator(s): Alan S. Carmel, John H. West, Christopher M. McMurray
Hearing Site: Baltimore, MD
| | |
| 14-02394 | 11/24/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan Berg
Respondent(s): John Cutshall
Respondent Lawyers(s): E. Patrick McDermott
Arbitrator(s): Bonnie K. Wachtel, Marian Smith Glenn, David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 14-01358 | 06/03/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Jonathan D. Berg
Respondent(s): William Crumrine
Respondent Lawyers(s): William Braden Crumrine
Arbitrator(s): David Paul Clark
Hearing Site: Baltimore, MD
| | |
| 14-00233 | 05/20/2015 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Robert L Herskovits
Respondent(s): Peter Foote
Respondent Lawyers(s): Thomas C. Costello
Arbitrator(s): Karen V. Cunningham, Jane C. Carney, Sandra Holmes
Hearing Site: Baltimore, MD
| | |
| 14-00726 | 05/15/2015 | Claimant(s): William Norton
Claimant Lawyers(s): William Russell Norton
Respondent(s): Debra Combs, Greg Banasz, Jackie Bae-kingkeo, John Tinsley, Morgan Stanley, Mark Puccini
Respondent Lawyers(s): Ira G. Rosenstein
Arbitrator(s): June White Dillard, Patricia M. Maher, Jane Kwok Ping Tam
Hearing Site: Baltimore, MD
| | |
